| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ASHOK KUMAR PODDAR
(PAN:AFTPP2389D)
|
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INDULGED IN EXTENDED FRONT RUNNING THE TRADES OF BIG CLIENTS VIOLATING CLAUSE (C) OF SUB-REGULATION (1) OF REGULATION 2 OF THE PFUTP REGULATIONS AND SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003
|
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.65,77,11,547 ALONG WITH OTHER ENTITIES/PERSONS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-JAN-2025 UNTIL FURTHER ORDERS
PROHIBITED BEING ASSOCIATED WITH ANY INTERMEDIARY OR ANY ENTITY REGISTERED WITH SEBI FROM 02-JAN-2025 UNTIL FURTHER ORDERS
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI EXCEPT FOR THE PURPOSE OF TRANSFER OF FUNDS TO ESCROW ACCOUNT
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
02-JAN-2025
|
|
| 2 |
|
|
KALPANA NILESH KAPADIA
(PAN:AKVPK6646D)
|
|
|
INDULGED IN FRONT RUNNING ORDERS OF HDFC ASSET MANAGEMENT CO. IN SCRIP OF CENTURY TEXTILES LTD. ON NSE
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-JUN-2010 TO 16-JUN-2020
PROHIBITED BEING ASSOCIATED WITH ANY INTERMEDIARY OR ANY ENTITY REGISTERED WITH SEBI FROM 17-JUN-2010 TO 16-JUN-2020
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
17-JUN-2010
DIRECTED TO DISGORGE RS.47,24,293
27-JUL-2018
|
SEBI VIDE ITS ORDER DATED 15/01/2016 DIRECTED TO A) IMPOUND UNLAWFUL GAINS OF RS.1,18,45,638 (GAIN OF RS.47,24,293 AND INTEREST OF RS.71,21,345) JOINTLY AND SEVERALLY B) BANKS AND DEPOSITORIES NOT DEBIT, PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY C) NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT D) PROVIDE FULL INVENTORY OF THEIR ASSETS, PROPERTIES AND DETAILS OF ALL BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES / SECURITIES, IF HELD IN PHYSICAL FORM AND DETAILS OF COMPANIES HOLD SUBSTANTIAL OR CONTROLLING INTEREST
SEBI VIDE ITS ORDER DATED 27/07/2018 DIRECTED TO A) DISGORGE WRONGUL GAIN RS.47,24,293 ALONGWITH SIMPLE INTEREST @ 12% P.A. FROM DATE OF THEIR TRANSACTIONS TILL DATE OF DEPOSIT OF AMOUNT IN ESCROW ACCOUNTS IN COMPLIANCE WITH HON’BLE SAT’S ORDER DATED 04/03/2016 B) BANK AND DEPOSITORIES NO TO DEBIT WITHOUT PERMISSION OF SEBI C) NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME THE DIRECTION OF THIS ORDER COMPLIED
SAT: SAT VIDE ITS ORDER DATED 04/03/2016 APPELLANTS DEPOSITED QUANTUM OF UNDUE PROFITS IN MANNER SET OUT IMPUGNED ORDER DATED 17/06/2010 AND SEBI SHALL DEFREEZE ALL ACCOUNTS OF APPELLANTS AND INTIMATE THE SAME TO CONCERNED AUTHORITIES FORTHWITH. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 03/05/2016 PERMITTED APPELLANTS TO SELL THE SECURITIES LYING IN THEIR DEMAT ACCOUNTS. DIRECTED REGISTRY TO EFFECT MODIFICATIONS IN ORDER DATED 04/03/2016
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| 3 |
|
|
KETAN VINAYCHANDRA PAREKH
(DIN:00009468
PAN:AADPP1505A)
|
|
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INDULGED IN EXTENDED FRONT RUNNING THE TRADES OF BIG CLIENTS VIOLATING CLAUSE (C) OF SUB-REGULATION (1) OF REGULATION 2 OF THE PFUTP REGULATIONS AND SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003
|
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.65,77,11,547 ALONG WITH OTHER ENTITIES/PERSONS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-JAN-2025 UNTIL FURTHER ORDERS
PROHIBITED BEING ASSOCIATED WITH ANY INTERMEDIARY OR ANY ENTITY REGISTERED WITH SEBI FROM 02-JAN-2025 UNTIL FURTHER ORDERS
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI EXCEPT FOR THE PURPOSE OF TRANSFER OF FUNDS TO ESCROW ACCOUNT
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
02-JAN-2025
|
|
| 4 |
|
|
NILESH KAPADIA
(PAN:AABPK0356Q)
|
|
|
|
HDFC ASSET MANAGEMENT CO.LTD.
PAN:AAACH7614L
|
|
INDULGED IN FRONT RUNNING ORDERS OF HDFC ASSET MANAGEMENT CO. IN SCRIP OF CENTURY TEXTILES LTD. ON NSE
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-JUN-2010 TO 16-JUN-2020
PROHIBITED BEING ASSOCIATED WITH ANY INTERMEDIARY OR ANY ENTITY REGISTERED WITH SEBI FROM 17-JUN-2010 TO 16-JUN-2020
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
17-JUN-2010
DIRECTED TO DISGORGE RS.1,18,45,638 ALONG WITH OTHER ENTITIES/PERSONS
15-JAN-2016
|
SEBI VIDE ITS ORDER DATED 24/07/2014 DIRECTED TO BE RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, FOR A PERIOD OF TEN (10) YEARS AND NOT TO BE ASSOCIATED WITH ANY INTERMEDIARY OR ANY ENTITY REGISTERED WITH SEBI FOR A PERIOD OF TEN (10) YEARS. PERIOD OF SUCH RESTRAINT ALREADY UNDERGONE BY HIM VIDE INTERIM ORDER DATED 17/06/2010 SHALL BE TAKEN INTO CONSIDERATION WHILE COMPUTING PERIOD OF RESTRAINT
SEBI VIDE ITS ORDER DATED 15/01/2016 DIRECTED TO A) IMPOUND UNLAWFUL GAINS OF RS.2,17,14,284 (GAIN OF RS.1,05,02,417 AND INTEREST OF RS.1,12,11,866) JOINTLY AND SEVERALLY B) BANKS AND DEPOSITORIES NOT TO DEBIT , WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY C) NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT D) PROVIDE FULL INVENTORY OF THEIR ASSETS, PROPERTIES AND DETAILS OF ALL BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES / SECURITIES, IF HELD IN PHYSICAL FORM AND DETAILS OF COMPANIES HOLD SUBSTANTIAL OR CONTROLLING INTEREST
SEBI VIDE ITS ORDER DATED 15/01/2016 DIRECTED TO A) IMPOUND UNLAWFUL GAINS OF RS.1,18,45,638 (GAIN OF RS.47,24,293 AND INTEREST OF RS.71,21,345) JOINTLY AND SEVERALLY B) BANKS AND DEPOSITORIES NOT DEBIT, PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY C) NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT D) PROVIDE FULL INVENTORY OF THEIR ASSETS, PROPERTIES AND DETAILS OF ALL BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES / SECURITIES, IF HELD IN PHYSICAL FORM AND DETAILS OF COMPANIES HOLD SUBSTANTIAL OR CONTROLLING INTEREST
SAT: SAT VIDE ITS ORDER DATED 04/03/2016 APPELLANTS DEPOSITED QUANTUM OF UNDUE PROFITS IN MANNER SET OUT IMPUGNED ORDER DATED 17/06/2010 AND SEBI SHALL DEFREEZE ALL ACCOUNTS OF APPELLANTS AND INTIMATE THE SAME TO CONCERNED AUTHORITIES FORTHWITH. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 03/05/2016 PERMITTED APPELLANTS TO SELL THE SECURITIES LYING IN THEIR DEMAT ACCOUNTS. DIRECTED REGISTRY TO EFFECT MODIFICATIONS IN ORDER DATED 04/03/2016
SAT: APPEAL DISMISSED. NO COSTS
|
| 5 |
|
|
ROHIT SALGAOCAR
|
|
|
INDULGED IN EXTENDED FRONT RUNNING THE TRADES OF BIG CLIENTS VIOLATING CLAUSE (C) OF SUB-REGULATION (1) OF REGULATION 2 OF THE PFUTP REGULATIONS AND SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003
|
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.65,77,11,547 ALONG WITH OTHER ENTITIES/PERSONS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-JAN-2025 UNTIL FURTHER ORDERS
PROHIBITED BEING ASSOCIATED WITH ANY INTERMEDIARY OR ANY ENTITY REGISTERED WITH SEBI FROM 02-JAN-2025 UNTIL FURTHER ORDERS
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI EXCEPT FOR THE PURPOSE OF TRANSFER OF FUNDS TO ESCROW ACCOUNT
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
02-JAN-2025
|
SAT: SAT VIDE ITS ORDER DATED 28/11/2025 ALLOWED THE APPEAL AND SET ASIDE COMMUNICATION DATED 13/08/2025. ALLOWED APPELLANT? REQUEST FOR CROSS-EXAMINATION OF MR.KETAN PAREKH
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| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
